NSCP August Industry Forum Insights

The industry’s source for the thoughtful analysis of current events

NSCP Members have just wrapped up another monthly touchpoint with our Broker-Dealer and Investment Advisor Forums regarding:

  • SEC Retail Strategy Task Force to host roundtable on combating elder investor fraud
  • SEC and FINRA statement on custody of digital assets
  • OCIE risk alert on employing people with disciplinary histories

Beyond that, our members are discussing these topics:

  • Outside business activities
  • Duplicate statements for compliance review
  • Marijuana related businesses

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